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Compliance and Regulatory Alerts  |  01-04-24

NASAA Publishes New Comment Letter on DOL Rule

NASAA has published a new Comment Letter to the DOL Regarding Retirement Security Rule: Definition of an Investment Advice Fiduciary. Specifically, the letter is in support of eliminatiing of the five-part test under the
1975 rule for determining when a securities registrant acts as an investment advice fiduciary for ERISA purposes.

Read the full letter at